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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

PHILLIP FALK

Advisor at EMERSON EQUITY LLC

SAN MATEO, CA | McKinney, TX

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Search this name across graphsid dfx:ria:1bdf5f2e-e829-d5e3-ceec-8a2de91355fd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:30 PM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 0
On other graphs: 0
Observed: Sep 5, 2000 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: EMERSON EQUITY LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 19, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S63|S65|S66
First exam: Aug 19, 1993
First registration: Sep 5, 2000
Dual registered: yes, broker-dealer
Other names: PHILLIP FALK
IAPD individual key: 2372997

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
EMERSON EQUITY LLC	Bd affiliated wealth	Jul 23, 2021	n/a	yes	SAN MATEO, CA\|McKinney, TX\|SAN MATEO, CA	Current employment
FOURSTAR WEALTH ADVISORS, LLC	Independent wealth	Feb 7, 2020	Jul 1, 2021	no	Lake Forest, IL\|CHICAGO, IL	Previous registration
BLUESKYE INVESTMENT ADVISERS, LLC	State registered	Jul 30, 2019	Mar 16, 2020	no	Chicago, IL\|ORLANDO, FL	Previous registration
GREAT POINT ADVISORS LLC	n/a	Apr 13, 2018	Dec 31, 2018	no	CHICAGO, IL	Previous registration
WORKMAN SECURITIES CORPORATION	n/a	Oct 14, 2008	Oct 27, 2009	no	EDEN PRAIRIE, MN\|LAKE FOREST, IL	Previous registration
ADVANCED EQUITIES, INC.	Former SEC adviser	Oct 4, 2006	Oct 24, 2008	no	CHICAGO, IL\|CHICAGO, IL\|CHICAGO, IL	Previous registration
CREDIT SUISSE SECURITIES (USA) LLC	Former SEC adviser	Jan 17, 2003	Feb 14, 2003	no	CHICAGO, IL	Previous registration
PERSHING LLC	n/a	Sep 5, 2000	Jan 17, 2003	no	CHICAGO, IL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
FOURSTAR WEALTH ADVISORS, LLC	EMERSON EQUITY LLC	Jul 1, 2021	Jul 23, 2021	22	Firm change	RIA to ibd
BLUESKYE INVESTMENT ADVISERS, LLC	FOURSTAR WEALTH ADVISORS, LLC	Mar 16, 2020	Feb 7, 2020	-38	Firm change after gap	Other
GREAT POINT ADVISORS LLC	BLUESKYE INVESTMENT ADVISERS, LLC	Dec 31, 2018	Jul 30, 2019	211	Firm change	Other
WORKMAN SECURITIES CORPORATION	GREAT POINT ADVISORS LLC	Oct 27, 2009	Apr 13, 2018	3,090	Firm change after gap	Other
ADVANCED EQUITIES, INC.	WORKMAN SECURITIES CORPORATION	Oct 24, 2008	Oct 14, 2008	-10	Firm change	Other
CREDIT SUISSE SECURITIES (USA) LLC	ADVANCED EQUITIES, INC.	Feb 14, 2003	Oct 4, 2006	1,328	Firm change after gap	Other
PERSHING LLC	CREDIT SUISSE SECURITIES (USA) LLC	Jan 17, 2003	Jan 17, 2003	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
164554:161097:IL:2018-12-31	Dec 31, 2018	Jul 30, 2019	CHICAGO, IL	Firm change

Relationships

Registered with (8)

→ EMERSON EQUITY LLCRegistered adviserregistration: current employment
Jul 23, 2021 to presentfactForm ADV
→ FOURSTAR WEALTH ADVISORS, LLCRegistered adviserregistration: previous registration
Feb 7, 2020 to Jul 1, 2021factForm ADV
→ BLUESKYE INVESTMENT ADVISERS, LLCRegistered adviserregistration: previous registration
Jul 30, 2019 to Mar 16, 2020factForm ADV
→ GREAT POINT ADVISORS LLCRegistered adviserregistration: previous registration
Apr 13, 2018 to Dec 31, 2018factForm ADV
→ WORKMAN SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Oct 14, 2008 to Oct 27, 2009factForm ADV
→ ADVANCED EQUITIES, INC.Registered adviserregistration: previous registration
Oct 4, 2006 to Oct 24, 2008factForm ADV
→ CREDIT SUISSE SECURITIES (USA) LLCRegistered adviserregistration: previous registration
Jan 17, 2003 to Feb 14, 2003factForm ADV
→ PERSHING LLCRegistered adviserregistration: previous registration
Sep 5, 2000 to Jan 17, 2003factForm ADV

Dated events

No dated event names this entity yet.